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The primary federal regulator of the securities firms is I. Financial Industry Regulatory Authority (FINRA) II. Securities and Exchange Commission (SEC) III. Federal Reserve IV.

The primary federal regulator of the securities firms is I. Financial Industry Regulatory Authority (FINRA) II. Securities and Exchange Commission (SEC) III. Federal Reserve IV. Securities Investor Protection Corporation (SIPC) OI only O II only O III and IV only O I and IV only OI and III only

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